EFTA01398995.pdf

Subject: RE: June 2016 AML/KYC Escalation Reports [I] From: Melisa Venegas Date: Fri, 03 JutalLatijta: 00 To: Armen Brash •- >, Andrew Gallivan dza, Michael S Jar, Lee Flutter < Mark LaRoe Cc: Vaishali-P Mehta > Classification: For internal use only File attached. Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212) 250-1493 I Email Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29* Low 1 11 12* * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4 Overdue High Risk in Person Meetings 26 EFTA01398995 Office 0-30 31-60 61-90 >90 Total Los Angeles High 1 1 Moderate 33 Low 2 2 New York High 26 8 Moderate 15 15 Low 1 34 San Francisco High 1 1 Moderate 2 9 11 Low 5 5 Miami High Moderate Low 1 1 « OLE Object: Picture (Device Independent Bitmap) » Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212) 250-1493 I Email EFTA01398996